Conceptualizing Horizontal Cooperation in Regional Socio-Ecological Systems Through Actor

278 Pages·2015·7.34 MB·English

CONCEPTUALIZING HORIZONTAL COOPERATION IN
REGIONAL SOCIO-ECOLOGICAL SYSTEMS
THROUGH ACTOR NETWORKS AND COLLECTIVnE ACTION:
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THE CASE OF THE BERG RIVER CAToCHMENT
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By C
NADINE METHNER

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DISSERTATION PRESENTED FOR THE DEGREE OF
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eDOCTOR OF PHILOSOPHY
IN THE DEPARTMENvT OF ENVIRONMENTAL & GEOGRAPHICAL SCIENCE
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U UNIVERSITY OF CAPE TOWN
AUGUST 2014

Supervisors:
Dr. Gina Ziervogel
Prof Claudia Pahl-Wostl
Prof Ralph Hamann
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The copyright of this thesis vests in the author. No
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quotation from it or information derived from it is to be

published without full acknowledgeement of the source.
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The thesis is to be used for private study or non-
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commercial research purposes only.

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Published by the Universit y of Cape Town (UCT) in terms
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of the non-exclusive license granted to UCT by the author.
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PLAGIARISM DECLARATION
I know the meaning of plagiarism and declare that all of the work in the dissertation,
save for that which is properly acknowledged, is my own.
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Nadine Methner C
14 August 2014, Heidelberg
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DECLARATION OF FREE LICENSE

I hereby:
a. grant the University free license to reproduce the above thesis in whole or in
part, for the purpose of research;
b. declare that:
(i) the above thesis is my own unaided work, both in conception and
execution, and that apart from the normal guidance from my supervisors,
I have received no assistance; n
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(ii) neither the substance nor any part of the thesiso has been submitted in the
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past, or is being, or is to be submitted for a degree at this University or at

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any other University.
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I am now presenting the thesis for examination for the Degree of PhD
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Nadine Methner
14 August 2014, Heidelberg
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ABSTRACT
This research investigates the role of horizontal cooperation in the adaptive management of regional
socio-ecological systems (SESs). Horizontal cooperation refers to the collaborative, non-hierarchical
interactions of actors across sectors, modes of governance and spatial scales. It can allow diverse
actors to deal with the complexity and uncertainties that characterize SESs and to co-produce public
benefits.
The research question is, When does horizontal cooperation contribute to adaptive management in
complex governance arrangements? The Berg River catchment in South Africa serves as a case study
to analyze such complex systems. The empirical focus is on the operational level which is responsible
for maintaining key functions of the water resources in the SES. n
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A formal social network analysis is employed to describe and analyze tohe management of the Berg
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River catchment. The analysis focuses on (i) cohesion and (ii) heterogeneity, which are two network

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characteristics that affect learning and collective action in actor networks. Horizontal cooperation is
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further investigated by examining selected collective actioan initiatives with the help of Ostrom’s eight
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design principles (1990). Constraints affecting collective action and the capacity to self-organize are

identified, and the robustness of the governance farrangements arising from horizontal cooperation is
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evaluated.
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The study finds that the behavior soif actors towards each other and the SES is influenced by
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incentives provided by informal network structures, market mechanisms and bureaucratic
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hierarchies. Hence, modes of governance intersect at the operational level and consequently
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influence the nature of horizontal cooperation. While the quality of the management of the SES is
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largely determined by the patterns of interactions among the actors that manage the SES, these
interactions are influenced by other institutional and organizational structures in which they are
embedded. Unexpectedly, market mode incentives stimulate collective action in the Berg catchment
and accentuate the need for addressing degrading water quality. Informal relations and emerging
inter-organizational platforms matter for learning and for providing opportunities for collective
action. Yet, the incentives (or lack thereof) created through hierarchical steering of the South African
water governance system by the national government department are often counterproductive. That
is, so far the self-organizing efforts at sub-catchment level could not be transformed into functioning
governance arrangements because of constraints imposed by the hierarchical mode.
The study confirms that self-organization and collective action that arise from horizontal cooperation
are important for the adaptive management of regional SESs. However, without being nested into
larger structures and decision-making processes, they are insufficient for creating and sustaining
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robust governance arrangements. Horizontal cooperation at the operational level can only be
effective when supported by the hierarchical governance mode.
The thesis contributes to a growing field of interdisciplinary research on SESs, responding to the call
for greater emphasis on relational patterns, governance, and environmental outcomes. It warns that
horizontal cooperation cannot by itself guarantee adaptive management. Certain conditions are
needed so that social and ecological outcomes are achieved and the cost of horizontal cooperation
remains acceptable. A nested governance structure, in which horizontal cooperation is
complemented by vertical integration is necessary for learning and collaboration within and beyond
the operational level.

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ACKNOWLEDGEMENTS

This thesis was a very long challenging, yet rewarding, journey that I would have never been able to
complete without the help, encouragement, and support of so many wonderful and supporting
people that have accompanied along the way; never given up me on me and my research.
I wish to thank all of YOU for your valuable inputs and recommendations to this piece of research
and to my personal growth. You are my personal role models and heroes. While I cannot mention
everyone in the limited space provided below there are several people that need special
acknowledgement.
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First off I would like to thank my wonderful supervisors, Gina Ziervogel, Claudia Pahl-Wostl and Ralph
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Hamann whose professional guidance and valuable support went far beyond the duties that is
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expected from a supervisor. I feel very fortunate to have ha d the honor to work with three
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outstanding scholars who have helped to shape the researchp presented in this thesis and who were
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my safety anchors in the interdisciplinary field of socio-ecological systems. Gina, my special thanks go
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to you. Thank you for all your encouragement and your tremendous support.

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Judith Verma, Ramona and Ravi Liebhaber -Bagel, Geeske Scholz, Kathrin Knueppe, Bianca Tame,
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Sabine Stuart-Hill, Keith Forbes and Cartoline van der Bers, I feel so blessed having such wonderful
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friends. You gave me so much strength. Thank you!
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I also would like the Water Rvesearch Commission, the National Research Foundation and the Bode
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Foundation for the financial support of this PhD study.
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Für meine Lieblingseltern!!!
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Table of Contents
Table of Contents viii
List of Figures xii
List of Tables xiii
List of Abbreviations xv
1. Chapter: Introduction 1
1.1. The Outset: a planet under pressure 1
1.2. The rising complexity of regional socio-ecological systems 3
1.3. The need for adaptive management in regional socio-ecological systemns 4
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1.4. The increasing complexity of governance arrangements 6
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1.5. Research approach T 9

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1.6. Case Study Selection 10
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1.7. Research aim and objectives a 11
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1.8. Thesis outline 13

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2. Chapter: Conceptual design 15

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2.1. Adaptive water governance in tcomplex governance arrangements 16
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2.1.1. Adaptive managemernt 16
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2.1.2. Polycentric govvernance systems 24
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2.2. Actor networks: a relational approach for assessing complex governance arrangements 28
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2.2.1. Conceptualizing networks: network governance as mode of governance or actor
network? 28
2.2.2. Actor networks conceptualized through a relational network perspective 30
2.3. Advancing a concept of horizontal cooperation applicable for complex governance
arrangements 33
3. Chapter: Analytical framework: Operationalizing a relational approach on horizontal cooperation
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3.1. Understanding the management of regional SES through a network perspective 37
3.1.1. SNA: Patterns of relations as the primary unit for theorizing 37